Head of Compliance (Hong Kong) recruitment
This candidate will oversee the Compliance activities, support the Firm’s compliance with all relevant laws and rules and to promote a compliance culture within the Hong Kong office.
Responsibilities:
- Develops and oversees policies and procedures related to Compliance mandates
- Assists in the development and education of employees related to Compliance initiatives
- Develops and manages initiatives to help detect violations of the Compliance mandates
- Liaise with regulators and self regulatory organizations responsible for enforcing the Compliance mandates.
- Involves in all inspections or investigations, including, providing responses to all requests for documents and other information
- Liaises with all other departments and the region to help develop and maintain a compliance culture
- Advises on new products to ensure compliance with Compliance mandates and Hong Kong rules and regulations
Requirements:
- Bachelor degree of above, with legal, or other professional qualifications desirable
- An experienced compliance professional with a minimum of 10 years of financial market experience
- Familiar with the SFC, HKMA and/or HKEx rules and regulations is a MUST
- Possesses a sound knowledge of brokerage – exchange-traded futures and options, equities, and FX
- Possess strong report writing skills
- Self-motivated and possesses strong supervisory experience
- Strong written and verbal communication skills, investigative and analytical skills
Interested parties please send your resume to yvonne.chow@experis.com.hk. All applications will be processed in the strictest confidence, and only short-listed candidates will be notified.
December 11, 2011
• Tags: Compliance, Head of Compliance (Hong Kong) recruitment, Legal careers in the Hong Kong SAR • Posted in: Financial